Tommy Wong Lee
李旺
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Tommy Wong Lee (李旺), a licensed former licensee with CE reference AAC644. This person has 18.4 years of SFC licence history. Total licence records on file: 11.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2021-05-06 | 2021-08-27 |
| KGI Futures (Hong Kong) Limited 凱基期貨(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2021-05-06 | 2021-08-27 |
| Haitong International Securities Company Limited 海通國際證券有限公司 |
Rep | Type 1 - Dealing in securities | 2003-08-07 | 2021-04-16 |
| Haitong International Futures Limited 海通國際期貨有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2003-08-07 | 2021-04-16 |
| Upbest Securities Company Limited 美建證券有限公司 |
Rep | Type 1 - Dealing in securities | Pre-2003 | 2003-08-07 |
| Upbest Commodities Company Limited 美建期貨有限公司 |
Rep | Type 2 - Dealing in futures contracts | Pre-2003 | 2003-08-07 |
| Upbest Securities Company Limited 美建證券有限公司 |
Rep | Type 4 - Advising on securities | Pre-2003 | 2003-08-07 |
| Upbest Commodities Company Limited 美建期貨有限公司 |
Rep | Type 5 - Advising on futures contracts | Pre-2003 | 2003-08-07 |
| Upbest Securities Company Limited 美建證券有限公司 |
Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2003-08-07 |
| Upbest Commodities Company Limited 美建期貨有限公司 |
Rep | Type 9 - Asset management | Pre-2003 | 2003-08-07 |
| Upbest Securities Company Limited 美建證券有限公司 |
Rep | Type 9 - Asset management | Pre-2003 | 2003-08-07 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Tommy Wong Lee during overlapping periods. Ranked by how long they overlapped and how similar their regulated activities were, with shared time at a smaller firm weighted more than at a large one. See the detailed formula.